Regional Technical Advisor II - Compliance & Risk Management

NOTE: This is a global telecommuter position; CRS will give preference to candidates who are based in EMECA countries where we have existing offices.

About CRS

Catholic Relief Services is the official international humanitarian agency of the Catholic community in the United States. CRS works to save, protect, and transform lives in need in more than 100 countries, without regard to race, religion or nationality. CRS’ relief and development work is accomplished through programs of emergency response, HIV, health, agriculture, education, microfinance and peacebuilding.

Job Summary:

The Regional Technical Advisor (RTA) Compliance & Risk Management will contribute to the design and ensure implementation of agency-wide strategies, standards, tools, and best practices in risk management that effectively engage partners, donors, and governments. She/He will assist the EMECA Region and country level management to analyze, develop and implement planning procedures and policies that allow the Region and Country Programs (CPs) in EMECA to increase operational efficiency and promote operational excellence and organizational agility in different operational areas within an environment of compliance and adequate risk management. She/He will support the Region and CPs in developing a culture of compliance and risk management, as well as the capacity to proactively manage risk and be compliant with agency and donor policies and standards. 

The position will be also instrumental in regional and country-level capacity-building through identification, assessment and management of all categories of risk (apart from safety & security risks) identified in CRS’ Internal Control Questionnaires (ICQs), annual Risk Reports, FAM (Fraud Allegation Management), Policies and Procedures, external and internal audit reports and through periodic risk assessments. The RTA will help develop learning and training strategies and agendas/curriculums; organize and/or facilitate trainings, and workshops; and mentor and coach staff (CP and regional staff) in innovative risk and compliance approaches and tools.

One specific focus area is that of partnership, which includes overseeing the correct and timely applications of: FFATA (Federal Funding Accountability and Transparency Act), Non-US SR (Sub-Recipient) monitoring, and SRFMP (Sub-Recipient Financial Monitoring Policy). The RTA will work to advance partners understanding and meeting risk compliance standards.

Another specific focus area is that of risk and compliance support during the project cycle. This includes the provision of technical guidance and necessary support at the various stages of proposal development, design, start up, implementation, close-out and after-action learning and review. The RTA will work with CPs to ensure that projects have technical excellence and innovative solutions in the areas of risk and compliance. 

Risk Management

• Coordinate and advocate for the development and implementation of a EMECA Regional Risk Management framework (e.g. policy, procedure, tools and training curriculum)
• Support the roll out of the risk management component of the agency and regional strategy
• Establish and actively lead EMECA’s risk management community of practice (R&C staff, Head of Operations, Finance Managers, Grant Compliance, etc.)
• Coordinate compliance trainings (startup workshop) for large grants.
• Monitor the regular updating of CPs risk registers, which are finalized at the end of each FY. Review before incorporation in the Year End Close package
• Serve as a resource person on compliance and audit issues
• Serve as a regional focal point for the Office of General Counsel (OGC),
• Develop comprehensive annual compliance review plan covering all areas of risk (as identified in Internal Control Questionnaires, annual Risk Disclosure Reports, FAM, External (including A-133) and Internal Audit reports and through periodic Risk Assessments) for regional management approval
• Actively engage with colleagues in other regions and in similar roles to learn from their approaches towards risk management. Adopt good practices and tools for use in EMECA.

Fraud Risk Management

• Coordinate/take fraud allegation investigation assignments when needs arise, then assess and evaluate systemic and operational factors contributing to the problem, and offer actionable recommendations
• Ensure an effective and efficient collaboration between agency Ethics Unit, Region, and CPs
• Ensure close monitoring of fraud cases
• Support CPs with timely implementation of Corrective Action Plans
• Actively engage in the Fraud Risk Community of Practice and ensure active participation of CP staff

Compliance Management

• Review all new donor and subrecipient agreements and amendments and ensure a smooth and timely approval flow process. Develop and facilitate refresher trainings for CP staff involved in agreement processing. Liaise with OGC where applicable
• Provide advisory services and recommendations to the CP Operations’ teams to strengthen the various management systems in place, formulation of additional systems/processes
• Review Internal Control Assessments annually, and during each CP visit or remotely, validate assessment coverage, process, and rating as per the Internal Control Policy
• Monitor and assess the internal control structures of the country programs and their capacity to fully comply with applicable laws, donor requirements and CRS policies and procedures
• In collaboration with country program management and country level Compliance Officer (if applicable), perform reviews and capacity assessment of large grant recipients (local partner and A-133 filing agencies). This involves review and assessment of management structure (segregation of duties) and evaluation of internal control systems, financial, property and record management, etc 
• Compile and review reports/documents with data on compliance status and risk management (annual Risk Reports, Internal Control Questionnaires, internal and external, as well as risk-related data from internal or external resources with current or potential impact on CRS operations. Prepare trends analyses with recommendations for addressing systemic issues to preempt potential risks for review by regional management
• Ensure overall compliance with the Anti-Money Laundering & Anti-Terrorist Financing procedure (including Bridger XG compliance), Patriot Act, FFATA, TIP reporting,  Non-US SR monitoring and relevant reporting requirements.

Systems, Policy and Institutional Strengthening support

• Provide feedback to various Agency operations units to help originate and improve risks and compliance related policies and systems while establishing and identifying new approaches that further establish CRS as a center of expertise. Work with the DRD-Ops and Regional Finance Officer (RFO) to develop trainings on compliance, systems, and internal control issues. Work with peer regional operations advisors on compliance and control improvements in their respective technical areas. Review, assist and update project plans related to the rollout of new processes and systems
• Ensure CPs conduct timely partner assessments with the SRFMP tool. Followed by timely submission of partner’s ICIP (Internal Control Strengthening Plan), adequate monitoring visits, etc.
• Ensure CPs follow up on SRFMP compliance dashboard issues on a timely basis
• Ensure CPs conduct partners mapping and risk profiling, providing adequate support to those partners with generally weak internal controls and other types of support to strategic, long-term partners
• Assist CPs in their preparation of capacity strengthening plans (following SRFMP assessment and ICIPs, etc.)
• Actively promote courses and tools available through the Institute for Capacity Strengthening
• Actively promote and support the correct and timely use of Gateway (the SalesForce project database).

Proposal Development (including Contract management))

• Contribute to the development of risk management frameworks during proposal development (e.g. USAID BHA, Global Fund, etc.). Ensure, train and coach programming teams in understanding the risk management requirements from the donor
• Provide guidance, necessary support and training at the various stages of contracts management, i.e. proposal development, start up, implementation, close-out and after action learning and review

Audit Follow-Up

• Create and maintain audit report files for all country program internal and external (including A-133) reports on SharePoint
• Support CPs in their preparations for audits and participate in kick-off, review and close out meetings with (internal) auditors
• Promptly follow up to close audit recommendations (within 60 days) in close collaboration with country program and reginal staff. This involves participation in the development of audit closure action plans and follow-up to ensure timely submission of responses to HQ’s Internal Audit Department
• Provide summarized quarterly audit status report to Regional Director (RD), DRD/Ops and RFO.

Key Working Relationships:

Internal:  Regional Director, Deputy Regional Directors for Operations and Program Quality, Regional Finance Officer, Country Representatives/Managers, Country Program staff, HQ departments notably Finance, Internal Audit, Global People Resources, other regional and headquarters operations staff

External:  Auditors, donors, consultants (in coordination with RD, DRD-Ops, RFO and Country Representatives/Managers)

Required Languages: Excellent English oral and written communication skills required. Any of languages in EMECA counties is advantage.

Travel:  Must be willing and able to travel up to 50% of the time.

Supervisory Responsibilities: None